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SUP App 2.7 Capital resources below the level of individual capital guidance
As Published: 2006
SUP App 2.7 Capital resources below the level of individual capital guidance
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COBS 3.8 Policies, procedures and records
As Published: 2007
COBS 3.8 Policies, procedures and records
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MAR 5.5 Monitoring compliance with the rules of the MTF
As Published: 2003
MAR 5.5 Monitoring compliance with the rules of the MTF
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MAR 5A.7 Monitoring compliance with the rules of the OTF
As Published: 2017
MAR 5A.7 Monitoring compliance with the rules of the OTF
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PERG 4.17 Interaction with the Consumer Credit Act and consumer credit regulated activities
As Published: 2014
PERG 4.17 Interaction with the Consumer Credit Act and consumer credit regulated activities
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REC 4.2F Information gathering power on FCA’s own initiative
As Published: 2013
REC 4.2F Information gathering power on FCA’s own initiative
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EG 2.11 Senior management responsibility
As Published: 2015
EG 2.11 Senior management responsibility
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MAR 7A.5 Requirements when acting as a general clearing member
As Published: 2017
MAR 7A.5 Requirements when acting as a general clearing member
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